Tori is our in-house compliance rock star with the responsibilities of serving our B/D and compliance clients.
Tori graduated from Columbia Southern University with a Bachelor of Science in Business Administration with a concentration in Finance. While attending school, Tori worked in banking and then at an insurance company before accepting a role at a dually registered investment advisory firm. Tori has held positions in both sales and operations before transitioning into Compliance in 2017.
As a Compliance Officer her responsibilities included designing a email surveillance and incident reporting programs, drafting policy manuals and procedures, conducting enterprise wide employee trainings, conducting risk assessments and audits, and client complaints. Tori also has experience handling SEC and FINRA exams.
Tori has the Series 7, 24, and 66 securities licenses along with her life and health insurance license and is a Certified Internal Auditor (CIA®).
Outside of work, Tori enjoys spending time with her husband and 2 toddlers, sewing and catching up on the latest Real Housewives franchise.